John W. Browning
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John W Browning, who also goes by Jack William Browning IV, John William Browning Iv, John William Browning, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2014 - June 4, 2019
LIQUIDNET, INC.
November 15, 2011 - January 5, 2015
VIRTU AMERICAS LLC
January 3, 2011 - November 15, 2011
KNIGHT CAPITAL AMERICAS, L.P.
November 12, 2009 - January 3, 2011
KNIGHT LIBERTAS LLC
June 1, 2009 - December 8, 2009
MORGAN STANLEY
December 5, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 20, 2005 - April 16, 2008
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
October 1, 2004 - December 20, 2005
UBS FINANCIAL SERVICES INC.
September 5, 2003 - June 9, 2004
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
